Stock Plan Services Trade Desk Associate

Empower • Overland Park, KS

1d • $55,300 - $76,075 • Remote

About The Position

The Trade Desk Support Specialist – Stock Plan Services supports Empower Personal Wealth by performing back-office brokerage operations, trade review and execution, reconciliations, and trade-related issue resolution. The role primarily supports stock plan services, including equity compensation transactions, while also providing trade desk support across other brokerage products and platforms.

The Specialist works with Operations, Supervision, Compliance, and other internal teams to ensure accurate and timely trade processing, resolve exceptions, strengthen operational controls, and identify opportunities to improve trading processes and mitigate risk.

Requirements

• Bachelor's degree required.
• Minimum of two years of experience in financial services required.
• Active FINRA Series 7 registration required.
• FINRA fingerprinting required.
• Direct experience with stock plan services, equity trading, and brokerage operations, including trade processing, reconciliation, and exception resolution.
• Working knowledge of options trading markets, fixed income products, municipal securities, and related brokerage trading processes.
• Working knowledge of Microsoft Office applications, including Excel, Word, and SharePoint, for operational reporting, documentation, and trade-related activities.
• Strong analytical, organizational, communication, and problem-solving skills, with the ability to independently manage competing priorities, resolve escalated issues, and collaborate across teams in a fast-paced trading environment.
• Must be authorized to work for any employer in the United States; the employer is unable to sponsor or take over sponsorship of an employment visa, including CPT/OPT.

Nice To Haves

• Bachelor's degree in Finance, Business, Economics, or a related discipline.
• Experience supporting stock plan services back-office trading operations, including RSU vesting, ESPP transactions, stock option exercises, and Rule 10b5-1 trading instructions.
• Experience with Pershing NetX360 or comparable brokerage trading and clearing platforms.
• Direct trading experience with fixed income securities, municipal bonds, options, ETFs, or mutual funds.
• Experience researching complex trade corrections, reconciling transactions across multiple trading platforms, and supporting brokerage supervision or compliance inquiries.
• Experience providing technical guidance or training to registered representatives and brokerage service teams, including identifying recurring operational errors and recommending process improvements.

Responsibilities

• Review, process, and release brokerage trades, primarily for stock plan services, including RSU vesting, Rule 10b5-1 trading instructions, ESPP events, stock option exercises, and individual or block equity trades.
• Execute and monitor Not Held orders; coordinate with clearing firms; and reconcile trade executions, allocations, and transaction activity across brokerage trading platforms.
• Research and resolve trade errors, corrections, exceptions, and client accommodations, determining corrective actions and associated firm expenses in accordance with established procedures.
• Review and manage daily stock plan margin notices, Service Center Requests, voluntary corporate action requests, and other time-sensitive brokerage operational activities.
• Provide trade desk support for equities, fixed income, options, ETFs, and mutual funds, and guide registered representatives on stock plan trading requirements and block trade submissions.
• Partner with Supervision, Compliance, Operations, and management on escalations, client complaints, internal reviews, audits, regulatory inquiries, and documentation requests; identify operational risks and process improvement opportunities.
• Monitor outstanding trade-related requests, prioritize daily activities, support brokerage service team training, and communicate recurring trade errors, operational exceptions, and service trends to management.

Benefits

• Medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%, financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• Business-casual environment with the option to wear jeans.
• Generous paid time off upon hire, including a paid time off program, ten paid company holidays, and three floating holidays per calendar year.
• Paid volunteer time: 16 hours per calendar year.
• Leave programs, including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).
• Business Resource Groups open to all.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level